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Registration, Exams and CE
FINRA’s rigorous registration standards aim to safeguard the integrity of the market—and apply to firms and individuals alike.

FINRA works to enable a fair, balanced, inclusive market where everyone can invest with confidence. To ensure that’s possible, we require individuals and firms who wish to conduct business with the investing public to achieve and maintain certification as members of FINRA.

That membership brings with it a wealth of trust. FINRA-certified brokers have registered and undergone stringent Qualification Exams. They are also required to complete ongoing Continuing Education (CE) programs each year to ensure industry standards and practices are maintained. It’s all part of our shared goal of ensuring market integrity and investor protection.

To accomplish this, FINRA maintains the central licensing and registration system for the U.S. securities industry and its regulators.

Central Registration Depository (CRD)

CRD is a secure system that serves two purposes:

  • It contains the registration records of broker-dealer firms and their associated individuals, including their qualification, employment and disclosure histories.
  • It also facilitates the processing of form filings, fingerprint submissions, qualification exams and continuing education sessions.

FINRA is working on a new CRD system that will be intuitive, flexible and efficient, to make it easier for firms and their associated persons to fulfill their compliance obligations. Read more about what we have already implemented and have planned in the future for CRD.

Manage Your Career
If you're looking to get started in the financial services industry, or if you are already a registered representative see what’s next.